CASE STUDY

Securities Fraud Enforcement: What Recent Cases Reveal about the New, Sophisticated Schemes and How to Identify Them

May 4, 2021 11:00am

Gerry McGeachy
Partner
McGeachy Graydon Law

Cullen Price
Manager, Market Abuse
Ontario Securities Commission

  • Analyzing securities fraud cases, including those involving virtual currency for clues on what to watch for and how to respond
  • How financial institutions should respond requests for information from regulators
  • COVID-inspired fraud schemes to watch out for: from PPE, to vaccines and potential future tactics
    • Examining enforcement measures related to the “public-interest”
  • Gain clarity on reporting obligations for fraud and how to navigate any potential overlap with suspicious transaction reports